Compliance Officer - Broker Dealer

This role involves enhancing the regulatory governance framework for the firm's broker-dealer operations.

Key responsibilities include:

• Managing the regulatory calendar and tracking obligations to ensure compliance with DEA, Client, and SEC requirements.
• Coordinating with the Exams and Inquiries team to handle regulatory requests, maintain evidence repositories, and manage remediation efforts.
• Overseeing the documentation lifecycle for membership applications and ensuring compliance with regulatory changes.
• Supporting the books-and-records framework by organizing documentation and establishing compliance oversight processes.
• Collaborating with the Compliance Testing team to identify testing opportunities and develop test designs to enhance regulatory risk management.
• Participating in governance meetings, contributing to training needs assessments, and supporting oversight and reporting of governance metrics.

The ideal candidate should possess:

• 5–8 years of experience in U.S. broker-dealer compliance or related regulatory functions, with knowledge of SEC and Client requirements.
• Experience in managing regulatory programs across various departments such as Operations, Finance, and Technology.
• Familiarity with broker-dealer regulatory frameworks and practical application in finance and operations.
• Proficiency in managing regulatory documentation and workflows using tools like Audit Board, SharePoint, and JIRA.
• Strong communication skills for drafting regulatory documents and engaging with stakeholders.
• Preferred, but not required, Client registrations (Series 7, 14, 24, or 27).